GP
Gautam M. Pai
CETERA INVESTMENT ADVISERS LLC
SOLON, OH 44139
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CRD#: 5633726
GP
Professional summary
Gautam M Pai, AIF® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Solon, Ohio and CETERA ADVISORS LLC located in Solon, Ohio.
Gautam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Gautam has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) DBA, BALANCED FINANCIAL CONCEPTS, INVESTMENT RELATED, START 1/1/09,SAME AS OFFICE ADD, 40HR/WK, FINANCIAL SERVICES, 2) NAME OF OTHER BUSINESS: BALANCED FINANCIAL CONCEPTS, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: TAX PREPARATION, PLANNING & REVIEW OF TAX RETURNS, START DATE: 1/2011, APX NUMBER OF HOURS PER WEEK: 10, APX NUMBER OF TRADING HOURS PER WEEK: 10, POSITION/TITLE/RELATIONSHIP: REGISTERED TAX PREPARER, BRIEF DESCRIPTION OF DUTIES: TAX PREPARATION; 3) NAME OF OTHER BUSINESS: THE JOISHY-PAI SEZARY SYNDROME SOCIETY, INVESTMENT RELATED: NO, ADDRESS: 4426 PRAIRIEVIEW DR, MADISON, WI 53704, NATURE OF BUSINESS: NON-PROFIT, START DATE: 05/2025, POSITION/TITLE/RELATIONSHIP: FOUNDING BOARD MEMBER/FINANCE COMMITTEE MEMBER, APX NUMBER OF HOURS PER WEEK: 5, APX NUMBER OF HOURS DURING TRADING HOURS: 2, BRIEF DESCRIPTION OF DUTIES: PARTICIPATING IN FINANCE COMMITTEE AND FUNDRAISING COMMITTEE, MANAGING/DELEGATING DONATION PROCESSING, BANK ACCOUNT OVERSIGHT, QUARTERLY FINANCIAL REPORTS, CYBERSECURITY PROTOCOL;
CRS (Client Relationship Summary) - RIA
Click below to view Gautam M Pai's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 30505 Bainbridge Rd Ste 160, Solon, OH 44139RIA
CRD#: 105644
SOLON, OH
Current
March 13, 2009 - Present
CETERA ADVISORS LLC
Office #1: 30505 Bainbridge Rd Ste 160, Solon, OH 44139BD
CRD#: 10299
Solon, OH
Past
March 6, 2012 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/4/2012)
RR
California(11/23/2009)
RR
Florida(1/4/2012)
RR
Georgia(1/4/2012)
RR
Kentucky(1/2/2019)
RR
Maryland(1/4/2012)
RR
Massachusetts(1/3/2020)
RR
Michigan(1/4/2012)
RR
Nevada(7/10/2019)
RR
New Hampshire(1/4/2012)
RR
New Jersey(1/4/2012)
RR
New York(1/4/2012)
RR
North Carolina(1/5/2012)
RR
Ohio(3/13/2009)
IAR
Ohio(3/21/2024)
RR
Pennsylvania(1/4/2012)
RR
Tennessee(1/3/2019)
RR
Texas(4/1/2020)
IAR
Texas(3/21/2024)
RR
Vermont(5/1/2019)
RR
Virginia(1/4/2012)
RR
Washington(1/26/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
